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DS

Dennis L. Slothower

Some features on this profile are disabled
CRD#: 850232
DS

Professional summary

Being a previously registered professional could mean that this person is no longer operating under the supervision of the SEC or FINRA.

That means that the Securities and Exchange Commission may not be able to oversee the services that this specific professional is providing.

Dennis Lee Slothower was a registered financial professional .

Dennis is a previously registered financial professional and started their career in finance in 1978. Dennis had worked at 10 firms and has passed the Series 65, Series 63, Series 3, Series 7 and Series 1 exams.

Question & Answer

Are you a "fiduciary"?
No

Aliases

None

Other business activities

Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.
The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary)

The CRS(Customer Relationship Summary) document is not provided.

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®
None

Experience

Past

December 17, 2007 - January 4, 2021

ALPINE CAPITAL MANAGEMENT, LLC

RIA
CRD#: 132979
Pleasant Grove, UT
Past

March 11, 2002 - December 17, 2004

ALPINE CAPITAL MANAGEMENT SERVICES, INC.

RIA
CRD#: 118466
ALPINE, UT
Past

January 5, 2001 - February 1, 2002

FREEDOM FINANCIAL, INC.

BD
CRD#: 45850
OMAHA, NE
Past

September 30, 1997 - January 7, 1999

SECURITIES SERVICE NETWORK, LLC

BD
CRD#: 13318
KNOXVILLE, TN
Past

December 7, 1989 - May 1, 1995

SECURITIES AMERICA, INC.

BD
CRD#: 10205
LAVISTA, NE
Past

November 10, 1983 - December 11, 1989

LEHMAN BROTHERS INC.

BD
CRD#: 7506
NEW YORK, NY
Past

August 23, 1982 - November 3, 1983

FOSTER & MARSHALL INC.

BD
CRD#: 321
Past

September 24, 1980 - August 30, 1982

DAIN RAUSCHER INCORPORATED

BD
CRD#: 7600
Past

February 16, 1979 - September 25, 1980

FOSTER & MARSHALL INC.

BD
CRD#: 321
Past

March 22, 1978 - June 7, 1979

THE MUTUAL LIFE INSURANCE COMPANY OF NEW YORK

BD
CRD#: 2873
Past

March 22, 1978 - June 7, 1979

MONY SECURITIES CORPORATION

BD
CRD#: 4386

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

Visual representation of state registrations

This advisor is not registered in any state.

Exams

State Security Law Exam
IAR
Series 65
Date: 3/31/2008
Uniform Investment Adviser Law Examination
State Security Law Exam
RR
Series 63
Date: 5/22/1984
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
Series 3
Date: 10/25/1982
National Commodity Futures Examination
General Industry/Product Exam
RR
Series 7
Date: 4/21/1979
General Securities Representative Examination
General Industry/Product Exam
RR
Series 1
Date: 3/14/1978
Registered Representative Examination

Current Firm

AC
ALPINE CAPITAL MANAGEMENT, LLC
ALPINE CAPITAL MANAGEMENT, LLC

CRD#: 132979 / SEC#: 801-63735

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Contact information

Main Address
Pleasant Grove, UT
Mailing Address
Phone number
Established
Firm type
Fiscal year end
# of Employees

Documents

Latest Form ADV

Red Flags

Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.

Check for any disclosures as part of your thorough research when choosing an advisor.

Company Information

ALPINE CAPITAL MANAGEMENT, LLC

CRD#: 132979

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